What is Compliance Management ISO 37301?
ISO 37301 is an international standard that supports companies in creating and maintaining an effective compliance management system (CMS). Its aim is to ensure compliance with legal and internal regulations. In contrast to ISO 19600, which only served as a guideline, ISO 37301 offers a certifiable standard. This enables companies to systematically improve their compliance measures and provide external evidence of their efforts.
Key components of the standard include the identification and prioritization of compliance risks, the development of clear guidelines and processes as well as regular monitoring and reporting to evaluate the effectiveness of the system. Implementation in accordance with ISO 37301 helps companies to minimize legal risks, meet regulatory requirements and prevent potential damage such as fines or loss of reputation.
Why is ISO 37301 compliance management important?
The aim of compliance management is to identify and sanction breaches of compliance requirements at an early stage. However, the primary focus is on taking preventative measures to avoid such breaches. ISO 37301 offers companies a clear and structured approach to the effective management of compliance risks.
It makes it possible to identify and prevent potential violations at an early stage, thereby avoiding significant economic damage such as loss of reputation or high fines. By introducing clear guidelines and standardized processes, the standard ensures that all employees behave safely and in accordance with the rules.
All the advantages of Compliance Management ISO 37301 at a glance
Our services in the area of compliance management systems
Our compliance management systems services help companies to optimize their compliance processes, increase their effectiveness and reliably meet legal requirements. We offer customized solutions in the following areas:
- Support with the introduction and maintenance of CMS certification
- Support during the audit and certification process
- Determination of compliance obligations
- Assessment and evaluation of existing processes
- Identification of potential for improvement
- Preparation of recommendations for action
- Preparation of the necessary documentation
- Training and workshops for employees
- Regular internal audits to check compliance with standards
- Support in the development of action planning
- Prioritization of risks and obligations
- Guidance on the timely review of the risk assessment process
- Identification of compliance risks
- Definition of compliance performance indicators
- Monitoring and measuring compliance performance
- Audit planning and reporting
- Management review and control
Unique advantages with PPP
Working with PPP offers unique benefits. We support you not only in implementing and maintaining your compliance management system in accordance with ISO 37301, but also in continuously improving your compliance practices and standards.
- Fast turnaround: We use the latest software to provide you with fast and accurate results.
- International team: Our global team is on hand to help you with all your questions and challenges.
- Industry expertise: Our team has extensive knowledge of compliance management and can draw on many years of experience in various industries.
- Customized solutions: We offer customized consulting and service packages tailored to your company’s exact needs.
- Measurable improvements: Our services enable you to make concrete progress in compliance and the effectiveness of your compliance management system.
- Continuous support: We accompany you in the long term and support you in the continuous optimization and adaptation of your compliance practices.
- Improved corporate image: By implementing high compliance standards, you strengthen the trust of your customers and improve the image of your company
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Free initial consultation
If you would like to find out more about the ISO 37301 compliance management system, we would be happy to arrange a free initial consultation. Our experts are ready to discuss your specific requirements and offer you customized solutions.
Patrick Wortner
CEO | MBA and Eng., Dipl.-Ing. (FH)
Key aspects of the compliance management system
- Risk assessment and treatment: Systematic analysis and prioritization of risks.
- Compliance policies and procedures: Development of clear and effective guidelines.
- Monitoring and reporting: Ongoing monitoring of compliance measures and regular reporting.
- Training and awareness: Regular training to promote a compliance-conscious environment.
Business relevance of ISO 37301
ISO 37301 is of great importance to companies as it provides a structured approach to effectively manage compliance risks. Compliance with this standard not only enables companies to meet legal requirements, but also strengthens their reputation and promotes the trust of business partners and customers.
ISO 37301 certification: the process and the benefits
The process for ISO 37301 certification begins with a comprehensive analysis of existing compliance measures and processes in order to identify weaknesses and potential for improvement. This is followed by the development and implementation of the necessary compliance procedures and measures as well as the preparation of process documentation.
Employees are trained and sensitized to compliance with the guidelines. All processes are continuously monitored and improved in order to meet the requirements of the standard. Finally, an external audit by a certification body verifies compliance with the standard.
In addition to official proof of compliance, the benefits of ISO 37301 certification also include a stronger corporate image and an increased competitive advantage. Certification improves the chances of winning tenders and business partnerships and demonstrates a commitment to a robust compliance system that builds trust with customers and partners.
ISO 37301 requirements: Important points for companies
ISO 37301 requires companies to set up a compliance management system (CMS) that includes clear guidelines and procedures for compliance with legal regulations. Companies must assess risks, conduct regular internal audits and update policies regularly.
Employee training is required to ensure that everyone understands and implements the compliance requirements. The continuous improvement process should constantly adapt and optimize the CMS to current requirements.
Examples of compliance management ISO 37301 in practice
Best practice examples of successful initiatives: Numerous companies worldwide have made remarkable progress in their compliance performance by implementing ISO 37301. Through structured processes and systematic implementation, these companies have not only better fulfilled their internal guidelines and legal requirements, but have also significantly improved their risk management strategies.
Successful implementation in various industries: ISO 37301 has proven to be extremely flexible and has been successfully applied in various industries. From the financial sector to the healthcare industry to manufacturing, numerous best practice examples show how the standard offers tailor-made solutions and contributes to the optimization of compliance structures in different business areas. These industry-specific applications demonstrate the versatility and effectiveness of ISO 37301 in practice.
Outlook
The relevance of ISO 37301 will continue to grow in the coming years as companies face increasingly complex compliance challenges. The standard provides a flexible and scalable framework that helps companies to continuously improve their compliance measures and adapt them to new requirements.
Free initial consultation
If you would like to find out more about the ISO 37301 compliance management system, we would be happy to arrange a free initial consultation. Our experts are ready to discuss your specific requirements and offer you customized solutions.
Patrick Wortner
CEO | MBA and Eng., Dipl.-Ing. (FH)
Frequently asked questions
What is compliance and compliance management?
Compliance is a term that means “adherence” or “conformity to rules”. It encompasses all measures and processes that a company
company defines to ensure compliance with all applicable legal provisions. This includes both public laws
such as labor and anti-discrimination laws, as well as industry-specific regulations and internal company guidelines and ordinances.
Compliance management is the systematic process by which companies ensure that these requirements are met. It includes
the development and implementation of guidelines, the training of employees and the continuous monitoring of compliance with laws and regulations.
and regulations. The aim is to minimize legal risks such as corruption, tax evasion or data protection violations and to promote ethical behavior within the company.
behavior within the company.
What is ISO 37301?
ISO 37301 is an international standard that helps companies to set up an effective compliance management system (CMS). It ensures
that legal and internal guidelines are adhered to. In contrast to the previous ISO 19600, ISO 37301 enables official certification and improves the transparency
and improves the transparency and traceability of compliance measures.
What are the requirements of DIN EN ISO 37301?
DIN EN ISO 37301 requires a thorough risk assessment, the development of clear compliance guidelines, the definition of responsibilities and regular employee training.
regular training of employees. The system must be continuously monitored and improved.
What tasks does the introduction of a compliance management system involve?
The introduction of a compliance management system comprises several tasks, such as
– Identification of compliance obligations and integration into existing practices and procedures
– Analyzing the risks associated with compliance obligations
– Prioritization of risks and obligations
– Guidance for timely review of the risk assessment process
– Documenting compliance requirements and training employees
– Monitoring and measuring compliance performance and identifying corrective actions
– Managing compliance obligations towards third parties, such as suppliers or contractors
– Planning and conducting audits
– Management assessment and control of the CMS
How do you implement ISO 37301 in a company?
Implementation begins with the analysis of existing compliance measures. Guidelines and processes are then developed and implemented.
Employees are trained and the system is continuously monitored and adapted. Finally, an external audit confirms compliance.
What are the advantages of a compliance management system in accordance with ISO 37301?
A CMS in accordance with ISO 37301 improves legal certainty, strengthens the corporate image and increases the trust of customers and partners. It optimizes
compliance processes, increases efficiency and creates a competitive advantage, which has a positive impact on tenders and business deals.
What services does PPP offer in the area of compliance management?
PPP offers support with the introduction and adaptation of compliance systems, training for employees and advice on certification. We
also help with the optimization of existing processes and offer long-term support to ensure continuous compliance.
What does ISO 37301 certification involve?
ISO 37301 certification includes the analysis and planning of compliance measures, an external audit to assess conformity and the issue of a certificate.
of a certificate. It also includes regular reviews to ensure ongoing compliance and continuous improvement.
Is ISO 37301 certification mandatory for companies?
ISO 37301 certification is not a legal requirement, but provides a valuable framework for the structured implementation and review of a compliance management system.
of a compliance management system. It supports companies in documenting their compliance efforts to the outside world, which can be particularly advantageous when
This can be particularly advantageous when working with partners or tendering.
How long does it take to introduce a compliance management system in accordance with ISO 37301?
The introduction of a compliance management system in accordance with ISO 37301 usually takes between six months and a year, depending on the size and complexity of the company.
complexity of the company. The process includes risk analysis, development and implementation of guidelines, training for employees and preparation for the certification audit.
preparation for the certification audit.
How long is an ISO 37301 certification valid for?
ISO 37301 certification is valid for three years. During this time, annual surveillance audits are required to ensure that the compliance management system
compliance management system continues to meet the requirements of the standard. After three years, recertification is necessary to extend the validity of the certification.
extend the validity of the certification.
Can a CMS according to ISO 37301 be integrated with other management systems?
Yes, a compliance management system in accordance with ISO 37301 can be easily integrated with other management systems such as ISO 9001 (quality management system),
ISO 14001 (environmental management system) or ISO 50001 (energy management system). This integration utilizes synergies in processes and
documentation and increases the efficiency and consistency of the systems.